Daniel Patrick Thompson

LPL FINANCIAL LLC

BRENHAM, TX · CRD#

OSAIC WEALTH, INC.

HELENA, MT · CRD#

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

Direct

(xxx) xxx-xxxx

Email

xxxxx@xxxx.xxx

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

22 years registered in the securities industry

Current & Past Employments

Current

RBC CAPITAL MARKETS, LLCCurrent·CRD# 31194

RIA

BD

1. Carmel, IN2. 8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610

October 28, 2014 - Present

RBC CAPITAL MARKETS, LLCCurrent·CRD# 31194

RIA

BD

8888 Keystone Crossing Suite 200, Indianapolis, IN 46240-4610

October 28, 2014 - Present

Past

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

RIA

Indianapolis, IN

October 18, 2004 - October 29, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

BD

Indianapolis, IN

August 5, 2004 - October 29, 2014

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BRENHAM, TX · CRD#

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Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Current Firm

RC

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

200 Vesey St., New York, NY 10281

Mailing Address

250 Nicollet Mall Suite 1600, Minneapolis, MN 55401

Phone Number

(612) 371-2811

Established

Minnesota since 11/01/2010

Firm Type

Limited Liability Company

Fiscal Year End

October

Firm Size

Large

# of Employees

8,781

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Part 2 Brochures

RBC INSTITUTIONAL CONSULTING DISCLOSURE DOCUMENT (9/30/2026)

ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2026)

RBC CLEARING AND CUSTODY (RIA) ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2026)

RBC CLEARING AND CUSTODY ADVISORY PROGRAMS DISCLOSURE DOCUMENT (9/30/2026)

RBC FINANCIAL PLANNING DISCLOSURE DOCUMENT (6/30/2026)

Direct owners and executive officers

Name	Position	CRD#
RBC USA HOLDCO CORPORATION	DIRECT OWNER	—
ARMSTRONG, ROBERT MICHAEL	CEO, WEALTH MANAGEMENT	1530547
CARLESIMO, PAUL ADAM	CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S.	4718504
ESPENAK, KRISTEN ELIZABETH	CHIEF RISK OFFICER, USA	5570750
GLASSMAN, DORJE TSERING	CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP	6568226
O'CONNOR, SEAN WALTER	CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S.	6578918
PENN, JOHN CHRISTOPHER	GENERAL COUNSEL	5135403
RICATTI, JENNIFER LEE	PRINCIPAL FINANCIAL OFFICER	4404128
SCHREINER, CINDY LOUISE	US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER	1470050
SPERDUTO, VITO ANTONIO	DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD	2524961
THORNE, BRETT LANE	PRESIDENT, RBC CLEARING & CUSTODY	2523268

Regulatory Assets Under Management

Total Number of Accounts

511,871

AUM (Assets Under Management)

$310,428,968,904

Disclosures

Regulatory Event

379

Civil Event

3

Arbitration

114

Bond

7

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
08/27/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) SPORTS BROADCASTER; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: INDIANA UNIVERSITY SPORTS PROPERTIES/ESPN RADIO/LEARFIELD COMMUNICATION; NOT INVESTMENT RELATED; START DATE: 08/01/2002; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; DUTIES: RADIO PERSONALITY FOR COLLEGE AND HIGH SCHOOL FOOTBALL; HOURS DEVOTED PER WEEK: LESS THAN 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

(2) INDY SPORTS FOUNDATION; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: INDIANA UNIVERSITY SPORTS PROPERTIES/ESPN RADIO/LEARFIELD COMMUNICATION; NOT INVESTMENT RELATED; START DATE: 01/01/2005; CAPACITY: BOARD OF DIRECTORS; DUTIES: HOSTING THE OAKEN BUCKET LUNCHEON, WORKING THE ST. PATRICK DAY FESTIVITIES, SUPPORTING AMATEUR SPORTS FOR THE COMMON GOOD OF CENTRAL INDIANA; HOURS DEVOTED PER WEEK: LESS THAN .50; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: .25

(3) TNS PROPERTIES; ADDRESS: PRIVATE RESIDENCE; BUSINESS DESCRIPTION: RENTAL AND INVESTMENT PROPERTIES; NOT INVESTMENT RELATED; START DATE: 10/28/2014; CAPACITY: OWNER-ACTIVE; DUTIES: MANAGEMENT OF INVESTMENT AND RENTAL PROPERTIES; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

(4) SIGMA NU - WHITE STAR EDUCATION ENDOWMENT; ADDRESS: 450 E 96TH STREET SUITE 200 INDIANAPOLIS, IN 46240; BUSINESS DESCRIPTION: NOT FOR PROFIT; NOT INVESTMENT RELATED; START DATE: 12/09/2016; CAPACITY: DIRECTOR; DUTIES: APPROVE SCHOLARSHIP APPLICATIONS AND PROVIDE GUIDANCE TO UPDATE EDUCATIONAL PROGRAMS FOR THE SIGMA NU INDIANA UNIVERSITY CHAPTER; HOURS DEVOTED PER WEEK: 1; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0

(5) NAME OF ENTITY: Thompson OZ Holdings LLC; ADDRESS: 15442 Carey Road Carmel, IN 46033; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: Real Estate Entity; CAPACITY: Sole Proprietor; START DATE: 12/2019; DUTIES: Owner of real estate holding company; HOURS DEVOTED PER MONTH: 2%; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 2;

(6) Name: Guerin Catholic High School Address: 15300 N. Carey Road Noblesville, IN 46062 Business Description: High School Football Coach Business is not investment related Projected Start Date: 09/01/20 Capacity: Employee Duties Performed: coaching high school football Devoted to this OBA per Month: 24 Hours Devoted to this OBA during business hours: 0

(7) NAME OF ENTITY: HG Envoy Yeager, Inc. ADDRESS: 5723 Birtz Road Indianapolis, IN, 46216 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Commercial Real Estate - Office Suites CAPACITY: Owner - Passive START DATE: 08/01/21 DUTIES: None, passive real estate investment. HOURS DEVOTED PER MONTH: 0 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RC

RBC CAPITAL MARKETS, LLC

CRD#: 31194 / SEC#: 801-13059, 8-45411

RIA

Registered Investment Advisory firm - SEC (6/2/1977 Approved)

BD

Broker-Dealer Firm Regulated by FINRA (New York district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(9/24/2025)

RR

Arizona
(10/28/2014)

RR

California
(10/28/2014)

RR

Colorado
(12/23/2020)

RR

District of Columbia
(3/1/2023)

RR

Florida
(10/28/2014)

RR

Georgia
(6/14/2022)

RR

Illinois
(10/28/2014)

RR

Indiana
(11/26/2014)

IAR

Indiana
(11/26/2014)

RR

Iowa
(8/20/2018)

RR

Kentucky
(10/28/2014)

RR

Louisiana
(11/2/2026)

RR

Maryland
(3/18/2026)

RR

Massachusetts
(10/19/2023)

RR

Michigan
(2/16/2024)

RR

Minnesota
(10/28/2014)

RR

Mississippi
(6/6/2024)

RR

Missouri
(10/28/2014)

RR

Montana
(7/14/2026)

RR

Nevada
(10/28/2014)

RR

New Jersey
(5/1/2019)

RR

New Mexico
(1/4/2023)

RR

New York
(10/28/2014)

RR

North Carolina
(10/28/2014)

RR

Ohio
(10/28/2014)

RR

Pennsylvania
(8/11/2020)

RR

South Carolina
(10/28/2014)

RR

Tennessee
(10/28/2014)

RR

Texas
(10/28/2014)

IAR

Texas
(10/28/2014)

RR

Virgin Islands
(10/28/2014)

IAR

Virgin Islands
(11/13/2014)

RR

Virginia
(8/19/2026)

RR

Washington
(10/2/2019)

RR

Wisconsin
(3/7/2022)

RR

Wyoming
(11/1/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

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CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Patrick Thompson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel Patrick Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Services Offered by Daniel

Estate & Legacy Planning
Investment Management
Risk Management & Insurance
Financial Planning
Retirement Planning

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